Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
ZHOU, HE
Chinese Name of Relevant Individual
周赫
HKMA Registration Number
AF2015
Other HKMA Registration Number(s)
AF2540
Current Registration
Not Applicable
Business Address
Not Applicable
Conditions
Not Applicable
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Feb 2015 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
26 Feb 2015 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
17 May 2014 - 06 Feb 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
17 May 2014 - 06 Feb 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
17 May 2014 - 06 Feb 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
17 May 2014 - 06 Feb 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Jan 2012 - 31 Oct 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Aug 2011 - 31 Oct 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
19 Aug 2011 - 31 Oct 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
19 Aug 2011 - 31 Oct 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Jul 2011 - 24 Aug 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
18 Jul 2011 - 24 Aug 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
18 Jul 2011 - 24 Aug 2011
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 15
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.
:
Name of Relevant Individual
ZHOU, HE
:
Chinese Name of Relevant Individual
周赫
:
HKMA Registration Number
AF2015
:
Other HKMA Registration Number(s)
AF2540
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF2540
UBS AG
Type 1: dealing in securities
Since 31 May 2024
No
AF2540
UBS AG
Type 4: advising on securities
Since 31 May 2024
No
AF2540
CREDIT SUISSE AG
Type 1: dealing in securities
26 Feb 2015 - 31 May 2024
No
AF2540
CREDIT SUISSE AG
Type 4: advising on securities
26 Feb 2015 - 31 May 2024
No
AF2540
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
17 May 2014 - 06 Feb 2015
No
AF2540
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
17 May 2014 - 06 Feb 2015
No
AF2540
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
17 May 2014 - 06 Feb 2015
No
AF2540
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
17 May 2014 - 06 Feb 2015
No
AF2540
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
03 Jan 2012 - 31 Oct 2013
No
AF2540
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
19 Aug 2011 - 31 Oct 2013
No
AF2540
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
19 Aug 2011 - 31 Oct 2013
No
AF2540
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
19 Aug 2011 - 31 Oct 2013
No
AF2015
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
18 Jul 2011 - 24 Aug 2011
No
AF2015
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
18 Jul 2011 - 24 Aug 2011
No
AF2015
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
18 Jul 2011 - 24 Aug 2011
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.